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Coltmans provides advice and support on all aspects of financial services regulation Navigating regulatory and operational complexity
 
 

Coltmans advises in the
following areas of law:

finservices
corporate
commercial

 

The financial services industry operates in a complex operational and regulatory environment. Coltmans has extensive experience, sound technical knowledge and good relationships with the regulators, gained from many years working in financial services law.

Coltmans provides advice and support on all aspects of financial services regulation, including:

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Financial services and superannuation licensing

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Regulatory relationships and reporting

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Managed investment schemes

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Offer documents and promotional material

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Anti-money laundering programs

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Investment management agreements

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Arrangements for short selling and derivative trading

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Market conduct and consumer protection rules

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Compliance regimes, training and reviews

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Cross boarder regulatory issues

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Complaints and dispute handling

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Risk management frameworks

 
   
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